RICHARD T. SECHLER
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
RICHARD THOMAS SECHLER, CFP®, who also goes by Rick Thomas Sechler, was a registered financial advisor .
RICHARD is a previously registered financial advisor and started their career in finance in 1984. RICHARD had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1993
Experience
July 14, 2014 - December 9, 2014
ALLSTATE FINANCIAL SERVICES, LLC
July 12, 2002 - September 2, 2005
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
August 16, 2001 - September 13, 2005
SUNAMERICA SECURITIES, INC.
September 8, 2000 - August 24, 2001
FARMERS FINANCIAL SOLUTIONS, LLC
November 15, 1999 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
February 26, 1999 - December 2, 1999
USALLIANZ SECURITIES, INC.
December 26, 1986 - March 3, 1999
ARMA FINANCIAL SERVICES, INC.
January 2, 1985 - November 13, 1986
ADVANTAGE CAPITAL CORPORATION
October 18, 1984 - January 2, 1985
USLIFE EQUITY SALES CORP.
April 4, 1984 - October 23, 1984
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
ALLSTATE FINANCIAL SERVICES, LLC
President, USA Retirement SolutionsCRD#: 18272TRUST BUT VERIFY
Monitor RICHARD SECHLER
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